| 06-00118 | 08/30/2007 | Claimant(s): William Marshall, Hartunian Family Trust UTD 3/8/95
Claimant Lawyers(s): David Casterline, Scott R. Shewan
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, Allan D. Stampa, Christine Lonzello
Hearing Site: Los Angeles, CA
|  | $0 |
| 06-04403 | 08/29/2007 | Claimant(s): Jonathan Davies
Claimant Lawyers(s): Jonathan Davies
Respondent(s): Gilad Sartena
Respondent Lawyers(s): Gilad Sartena
Arbitrator(s): John E. Hansen, Thomas J. Luz, Ralph A. DeSena
Hearing Site: New York, NY
| | $25,000 |
| 07-01278 | 08/29/2007 | Claimant(s): Mildred Markowski
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Bonnie Stein, Christopher Davis, Jennifer Vollmer, Mary-Ann Princinsky, Neil Adleberg, Scott Grebenstein, William Skinner
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Paul H. Lamboley, William R. Rafti, Linda Jane Jones
Hearing Site: Las Vegas, NV
| | Expungement |
| 05-06404 | 08/28/2007 | Claimant(s): Richard M., and Sandra J. Pierzynski
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Patrick Drouillard, Hantz Financial Services.
Respondent Lawyers(s): Bradley J. Schram
Arbitrator(s): Harvey Frank, Benjamin A. Kerner, William David Jaeger
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 06-00784 | 08/28/2007 | Claimant(s): James Gallen, Mary Gallen
Claimant Lawyers(s): Richard Sacks
Respondent(s): Morgan Stanley DW Inc., Thomas Marinshaw
Respondent Lawyers(s): Aaron L. Danzer
Arbitrator(s): Linda H. Perry-Cabrera, Harve E. Citrin, Kenneth D. Gack
Hearing Site: San Francisco, CA
| | $375 |
| 04-01862 | 08/27/2007 | Claimant(s): Virginia Kent, Louis and Virginia Kent
Claimant Lawyers(s): Martyn B. Hill
Respondent(s): Louis Kent, M. Bowles, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan S. Rafterman, Martyn B. Hill
Arbitrator(s): Raymond E. Jennison, Carol A. Freeland, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | $0 |
| 06-02395 | 08/24/2007 | Claimant(s): James Rusciano
Claimant Lawyers(s): Larry Kars
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Michael Busco
Respondent Lawyers(s): Dan A. Rosenbaum, David J. Butler
Arbitrator(s): Cynthia A. DiMarco, Andrew H. Freund, Robert T. Costello
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-05110 | 08/23/2007 | Claimant(s): Russell Jacobson, Amelia M. Jacobson, IRAs, Russell W. Jacobson IRAs, Russell W. Jacobson & Amelia Jacobson, Russell W. and Amelia M. Jacobson
Claimant Lawyers(s): Russell W. Jacobson
Respondent(s): Ellerd Tomte
Respondent Lawyers(s): Ellerd B. Tomte
Arbitrator(s): Christine C. DeMoss
Hearing Site: Minneapolis, MN
| | $10,213 |
| 06-04809 | 08/23/2007 | Claimant(s): Nicholas Czuczko
Claimant Lawyers(s): Nicholas A. Czuczko
Respondent(s): Electronic Access Direct., Penson Financial Services.
Respondent Lawyers(s): Richard L. Barrett, Will S. Montgomery
Arbitrator(s): George M. Wiener, Timothy N. Will, Edward A. Trabin
Hearing Site: Los Angeles, CA
| | $0 |
| 07-00171 | 08/22/2007 | Claimant(s): Dianne Bergman
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): Gregory Goldstein, Stanislav Kaminsky, Steven Cohen, Marquis Financial Services.
Respondent Lawyers(s): David Hirschberg, Martin P. Unger, Stanislav Kaminsky
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $3,289 |
